Missouri Revised Statutes
Title XXVI - Trade and Commerce
Chapter 409 - Regulation of Securities

Section 409.107 - Investment firms, legal firms, other persons shall not be involved with issuance of bonds, when. - Effective - 28 Aug 2007 409.107. Investment firms, legal firms,...

Section 409.108 - Tampering with securities documents or impeding investigations prohibited. - Effective - 28 Aug 2004 409.108. Tampering with securities documents...

Section 409.109 - Penalty. - Effective - 28 Aug 2004 409.109. Penalty. — A person...

Section 409.111 - Commissioner of securities may investigate violations. - Effective - 28 Aug 2004 409.111. Commissioner of securities may...

Section 409.112 - Commissioner of securities may seek relief for violations, when. - Effective - 28 Aug 2004 409.112. Commissioner of securities may...

Section 409.113 - Commissioner of securities may issue orders, when. - Effective - 28 Aug 2004 409.113. Commissioner of securities may...

Section 409.114 - Duties and powers of commissioner of securities. - Effective - 28 Aug 2004 409.114. Duties and powers of...

Section 409.500 - Short title. - Effective - 28 Aug 1986 409.500. Short title. — Sections...

Section 409.506 - Definitions. - Effective - 28 Aug 1986 409.506. Definitions. — As used...

Section 409.511 - Requirements, offeror must send registration statement — solicitations, recommendations, file with commissioner. - Effective - 28 Aug 1986 409.511. Requirements, offeror must send...

Section 409.516 - Registration statement, contents — material changes, notice to commissioner, how. - Effective - 28 Aug 1986 409.516. Registration statement, contents —...

Section 409.521 - Commissioner may make investigations, seek injunctions, when. - Effective - 28 Aug 1986 409.521. Commissioner may make investigations,...

Section 409.526 - Penalties. - Effective - 28 Aug 1986 409.526. Penalties. — 1. Every...

Section 409.531 - Commissioner may promulgate rules, establish fees. - Effective - 28 Aug 1986 409.531. Commissioner may promulgate rules,...

Section 409.536 - Attorney general may prosecute, how. - Effective - 28 Aug 1986 409.536. Attorney general may prosecute,...

Section 409.541 - Secretary of state deemed offeror's agent, when — service of process, how, effective when. - Effective - 28 Aug 1986 409.541. Secretary of state deemed...

Section 409.546 - Fraudulent practices not allowed, solicitation of offerees. - Effective - 28 Aug 1986 409.546. Fraudulent practices not allowed,...

Section 409.551 - Exceptions. - Effective - 28 Aug 1986 409.551. Exceptions. — Sections 409.500...

Section 409.556 - Construction of statutes. - Effective - 28 Aug 1986 409.556. Construction of statutes. —...

Section 409.561 - Additional requirements, when applicable. - Effective - 28 Aug 1986 409.561. Additional requirements, when applicable....

Section 409.566 - Unlawful practices, offeree may bring suit, damages, attorney fees. - Effective - 28 Aug 1986 409.566. Unlawful practices, offeree may...

Section 409.600 - Citation of law. - Effective - 28 Aug 2015 409.600. Citation of law. —...

Section 409.605 - Definitions. - Effective - 28 Aug 2020, 2 histories 409.605. Definitions. —...

Section 409.610 - Financial exploitation, notification of agencies and family members. - Effective - 28 Aug 2020, 2 histories 409.610. Financial exploitation,...

Section 409.615 - Refusal of request for disbursement or transaction, when — expiration. - Effective - 28 Aug 2020, 2 histories 409.615. Refusal of...

Section 409.620 - Immunity from liability, when. - Effective - 28 Aug 2020, 2 histories 409.620. Immunity from...

Section 409.625 - Records, provided to agencies or law enforcement, when. - Effective - 28 Aug 2020, 2 histories 409.625. Records, provided...

Section 409.630 - Website for training resources to prevent and detect financial exploitation. - Effective - 28 Aug 2020, 2 histories 409.630. Website for...

Section 409.800 - Definitions. - Effective - 28 Aug 1985 409.800. Definitions. — As used...

Section 409.803 - Prohibited contracts — exemptions. - Effective - 28 Aug 1985 409.803. Prohibited contracts — exemptions....

Section 409.806 - Exempt transaction — rules, generally, this chapter, procedure. - Effective - 28 Aug 1995 409.806. Exempt transaction — rules,...

Section 409.808 - Commodity merchants — license required, boards of trade — designation required. - Effective - 28 Aug 1985 409.808. Commodity merchants — license...

Section 409.810 - Prohibited acts. - Effective - 28 Aug 1985 409.810. Prohibited acts. — No...

Section 409.813 - Principals, agents, joint and several liability — when. - Effective - 28 Aug 1985 409.813. Principals, agents, joint and...

Section 409.816 - Applicability of other laws. - Effective - 28 Aug 1985 409.816. Applicability of other laws....

Section 409.818 - Intent of law. - Effective - 28 Aug 1985 409.818. Intent of law. —...

Section 409.820 - Investigations by commissioner, subpoena powers — judicial enforcement. - Effective - 28 Aug 1985 409.820. Investigations by commissioner, subpoena...

Section 409.823 - Violations — powers of commissioner. - Effective - 28 Aug 1985 409.823. Violations — powers of...

Section 409.826 - Violations of domestic or foreign laws, rules — legal and equitable remedies. - Effective - 28 Aug 1985 409.826. Violations of domestic or...

Section 409.828 - Penalties. - Effective - 28 Aug 1985 409.828. Penalties. — 1. Any...

Section 409.830 - Insiders — restricted use of information, data to be public, exceptions. - Effective - 28 Aug 1985 409.830. Insiders — restricted use...

Section 409.833 - Cooperation with other jurisdictions, agencies. - Effective - 28 Aug 1985 409.833. Cooperation with other jurisdictions,...

Section 409.836 - General authority of commissioner. - Effective - 28 Aug 1985 409.836. General authority of commissioner....

Section 409.838 - Service of process, appointment of commissioner as agent for service. - Effective - 28 Aug 1985 409.838. Service of process, appointment...

Section 409.840 - Application of sections 409.803, 409.808, 409.810, offers to sell, buy — where deemed made. - Effective - 28 Aug 1985 409.840. Application of sections 409.803,...

Section 409.843 - Administrative procedure, notice of intent, summary order, notice, hearing. - Effective - 28 Aug 1985 409.843. Administrative procedure, notice of...

Section 409.846 - Judicial review of commissioner's orders — procedure — standard of review. - Effective - 28 Aug 1985 409.846. Judicial review of commissioner's...

Section 409.848 - Exemptions — burden of proof. - Effective - 28 Aug 1985 409.848. Exemptions — burden of...

Section 409.850 - Broker-dealers, sales representatives — applications for licenses — fees. - Effective - 28 Aug 1985 409.850. Broker-dealers, sales representatives —...

Section 409.853 - Examinations. - Effective - 28 Aug 1985 409.853. Examinations. — 1. The...

Section 409.856 - Licenses — effective date — expiration — classification, sales representatives — restrictions — exceptions. - Effective - 28 Aug 1985 409.856. Licenses — effective date...

Section 409.858 - Annual report, records — amendment, broker — dealers — capital requirements — fidelity bonds — financial reports. - Effective - 28 Aug 1985 409.858. Annual report, records —...

Section 409.860 - Records — examination without notice — fees. - Effective - 28 Aug 1985 409.860. Records — examination without...

Section 409.863 - Licenses — denial, suspension, revocation, limitations, cancellation — grounds. - Effective - 28 Aug 1985 409.863. Licenses — denial, suspension,...

Section 409.950 - Fiduciaries and employee retirement systems, investment in certain multinational development banks authorized. - Effective - 28 Aug 2007 409.950. Fiduciaries and employee retirement...

Section 409.1000 - Business opportunities — definitions. - Effective - 28 Aug 2000 409.1000. Business opportunities — definitions....

Section 409.1003 - Practices prohibited — penalty. - Effective - 28 Aug 2000 409.1003. Practices prohibited — penalty....

Section 409.1006 - Civil remedies. - Effective - 28 Aug 2000 409.1006. Civil remedies. — 1....

Section 409.1-101 - Short title. - Effective - 01 Sep 2003 409.1-101. Short title. — Sections...

Section 409.1-102 - Definitions. - Effective - 01 Sep 2003 409.1-102. Definitions. — In this...

Section 409.1-103 - References to federal statutes. - Effective - 01 Sep 2003 409.1-103. References to federal statutes....

Section 409.1-104 - References to federal agencies. - Effective - 01 Sep 2003 409.1-104. References to federal agencies....

Section 409.1-105 - Electronic records and signatures. - Effective - 01 Sep 2003 409.1-105. Electronic records and signatures....

Section 409.2-201 - Exempt securities. - Effective - 01 Sep 2003 409.2-201. Exempt securities. — The...

Section 409.2-202 - Exempt transactions. - Effective - 28 Aug 2005 409.2-202. Exempt transactions. — The...

Section 409.2-203 - Additional exemptions and waivers. - Effective - 01 Sep 2003 409.2-203. Additional exemptions and waivers....

Section 409.2-204 - Denial, suspension, revocation, condition, or limitation of exemptions. - Effective - 01 Sep 2003 409.2-204. Denial, suspension, revocation, condition,...

Section 409.3-301 - Securities registration requirement. - Effective - 01 Sep 2003 409.3-301. Securities registration requirement. —...

Section 409.3-302 - Notice filing. - Effective - 28 Aug 2020, 2 histories 409.3-302. Notice filing....

Section 409.3-303 - Securities registration by coordination. - Effective - 01 Sep 2003 409.3-303. Securities registration by coordination....

Section 409.3-304 - Securities registration by qualification. - Effective - 01 Sep 2003 409.3-304. Securities registration by qualification....

Section 409.3-305 - Securities registration filings. - Effective - 01 Sep 2003 409.3-305. Securities registration filings. —...

Section 409.3-306 - Denial, suspension, and revocation of securities registration. - Effective - 01 Sep 2003 409.3-306. Denial, suspension, and revocation...

Section 409.3-307 - Waiver and modification. - Effective - 01 Sep 2003 409.3-307. Waiver and modification. —...

Section 409.4-401 - Broker-dealer registration requirement and exemptions. - Effective - 01 Sep 2003 409.4-401. Broker-dealer registration requirement and...

Section 409.4-402 - Agent registration requirement and exemptions. - Effective - 01 Sep 2003 409.4-402. Agent registration requirement and...

Section 409.4-403 - Investment adviser registration requirement and exemptions. - Effective - 01 Sep 2003 409.4-403. Investment adviser registration requirement...

Section 409.4-404 - Investment adviser representative registration requirement and exemptions. - Effective - 01 Sep 2003 409.4-404. Investment adviser representative registration...

Section 409.4-405 - Federal covered investment adviser notice filing requirement. - Effective - 01 Sep 2003 409.4-405. Federal covered investment adviser...

Section 409.4-406 - Registration by broker-dealer, agent, investment adviser, and investment adviser representative. - Effective - 01 Sep 2003 409.4-406. Registration by broker-dealer, agent,...

Section 409.4-407 - Succession and change in registration of broker-dealer or investment adviser. - Effective - 01 Sep 2003 409.4-407. Succession and change in...

Section 409.4-408 - Termination of employment or association of agent and investment adviser representative and transfer of employment or association. - Effective - 01 Sep 2003 409.4-408. Termination of employment or...

Section 409.4-409 - Withdrawal of registration of broker-dealer, agent, investment adviser, and investment adviser representative. - Effective - 01 Sep 2003 409.4-409. Withdrawal of registration of...

Section 409.4-410 - Filing fees. - Effective - 01 Sep 2003 409.4-410. Filing fees. — (a)...

Section 409.4-411 - Postregistration requirements. - Effective - 01 Sep 2003 409.4-411. Postregistration requirements. — (a)...

Section 409.4-412 - Denial, revocation, suspension, withdrawal, restriction, condition, or limitation of registration. - Effective - 28 Aug 2020, 2 histories 409.4-412. Denial, revocation,...

Section 409.5-501 - General fraud. - Effective - 01 Sep 2003 409.5-501. General fraud. — It...

Section 409.5-502 - Prohibited conduct in providing investment advice. - Effective - 01 Sep 2003 409.5-502. Prohibited conduct in providing...

Section 409.5-503 - Evidentiary burden. - Effective - 01 Sep 2003 409.5-503. Evidentiary burden. — (a)...

Section 409.5-504 - Filing of sales and advertising literature. - Effective - 01 Sep 2003 409.5-504. Filing of sales and...

Section 409.5-505 - Misleading filings. - Effective - 01 Sep 2003 409.5-505. Misleading filings. — It...

Section 409.5-506 - Misrepresentations concerning registration or exemption. - Effective - 01 Sep 2003 409.5-506. Misrepresentations concerning registration or...

Section 409.5-507 - Qualified immunity. - Effective - 01 Sep 2003 409.5-507. Qualified immunity. — A...

Section 409.5-508 - Criminal penalties. - Effective - 28 Aug 2009 409.5-508. Criminal penalties. — (a)...

Section 409.5-509 - Civil liability. - Effective - 01 Sep 2003 409.5-509. Civil liability. — (a)...

Section 409.5-510 - Rescission offers. - Effective - 01 Sep 2003 409.5-510. Rescission offers. — A...

Section 409.6-601 - Administration. - Effective - 01 Sep 2003 409.6-601. Administration. — (a) This...

Section 409.6-602 - Investigations and subpoenas. - Effective - 01 Sep 2003 409.6-602. Investigations and subpoenas. —...

Section 409.6-603 - Civil enforcement. - Effective - 01 Sep 2003 409.6-603. Civil enforcement. — (a)...

Section 409.6-604 - Administrative enforcement. - Effective - 28 Aug 2020, 2 histories 409.6-604. Administrative enforcement....

Section 409.6-605 - Rules, forms, orders, interpretive opinions, and hearings. - Effective - 01 Sep 2003 409.6-605. Rules, forms, orders, interpretive...

Section 409.6-606 - Administrative files and opinions. - Effective - 01 Sep 2003 409.6-606. Administrative files and opinions....

Section 409.6-607 - Public records; confidentiality. - Effective - 01 Sep 2003 409.6-607. Public records; confidentiality. —...

Section 409.6-608 - Uniformity and cooperation with other agencies. - Effective - 01 Sep 2003 409.6-608. Uniformity and cooperation with...

Section 409.6-609 - Judicial review. - Effective - 01 Sep 2003 409.6-609. Judicial review. — (a)...

Section 409.6-610 - Jurisdiction. - Effective - 01 Sep 2003 409.6-610. Jurisdiction. — (a) Sections...

Section 409.6-611 - Service of process. - Effective - 01 Sep 2003 409.6-611. Service of process. —...

Section 409.6-612 - Severability clause. - Effective - 01 Sep 2003 409.6-612. Severability clause. — If...

Section 409.7-701 - Effective date. - Effective - 01 Sep 2003 409.7-701. Effective date. — This...

Section 409.7-702 - Repeals. - Effective - 01 Sep 2003 409.7-702. Repeals. — The following...

Section 409.7-703 - Application of act to existing proceedings and existing rights and duties. - Effective - 01 Sep 2003 409.7-703. Application of act to...

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Missouri Revised Statutes Title XXVI - Trade and Commerce Chapter 409 - Regulation of Securities

Missouri Revised Statutes
Title XXVI - Trade and Commerce
Chapter 409 - Regulation of Securities